Chartered Professional Accountants - Regulatory Examinations

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk.

This mandate is performed through policy, operational, and enforcement activities. The OSC also contributes to national and global securities regulation development.

We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.

The Registration, Inspections & Examinations (RIE) division is currently looking for a CPA to join the team to conduct risk based reviews of market participants in the securities industry.

RIE oversees dealers, advisers, investment fund managers, derivative firms and other market participants that the public relies on when investing in securities. Using a risk-based approach, RIE is responsible for the registration and compliance reviews of registered firms.

RIE consists of integrated, multi-disciplinary teams including professional staff (accountants and lawyers), registration officers and support staff.

• Champion investor protection and confidence in the capital markets: Conduct reviews of registered firms and regulated entities to assess compliance with Ontario securities laws.
• Formulate corrective actions: preparing formal reports detailing non-compliance with securities laws and internal control weaknesses and work with registered firms and regulated entities to determine what corrective action is required and assess appropriateness of corrective actions.
• Engage with stakeholders: Find practical and balanced solutions to address non-compliance with securities laws and make recommendations for further regulatory action in appropriate circumstances.
• Adapt regulatory principles to industry trends and emerging issues.

• Membership in good standing with CPA Ontario.
• Minimum 1 year of audit and assurance experience post CPA
  .
• Experience at an audit and assurance firm.
• Experience in investment management or financial services an asset.
• Demonstrated ability to show creativity, achieve results and effectively communicate information clearly and concisely.
• Demonstrated ability to establish collaborative working relationships and engage with internal and external stakeholders.
• Demonstrated ability to balance regulatory objectives with practical business considerations.

Please note this opportunity is considered to be a business critical role supporting the Registration, Inspections and Examinations Division.

Grow your career and make a difference working at the OSC.

The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrier‑free to all under‑represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the 2

SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.